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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2018-06-20
  • IA RA
    APPROVED
    Since 2018-06-20

Branch Locations

Bettendorf, IA • United States

711 High St, Des Moines, IA 50392 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Financial Group Des Moines IA 07/2000 05/2018
Modern Woodmen Of America Rock Island IL 05/2018 06/2018
Mwa Financial Services Inc Rock Island IL 05/2018 06/2018
Principal Life Insurance Company Bettendorf IA 06/2018 Present
Principal Securities Inc Bettendorf IA 06/2018 Present
  • 07/2000 → 05/2018
    Principal Financial Group
    Des Moines, IA
  • 05/2018 → 06/2018
    Modern Woodmen Of America
    Rock Island, IL
  • 05/2018 → 06/2018
    Mwa Financial Services Inc
    Rock Island, IL
  • 06/2018 → Present
    Principal Life Insurance Company
    Bettendorf, IA
  • 06/2018 → Present
    Bettendorf, IA
Previous Registrations
  • 2004-09-17 → 2018-05-08
    Des Moines, IA
    West Des Moines, IA
    Des Moines, IA
    West Des Moines, IA
    W Des Moines, IA
    Des Moines, IA
  • 2004-11-16 → 2009-12-02
    Principal Financial Advisors, Inc.
    Des Moines, IA
Other Businesses

**PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 6701 Westown Pkwy, Suite 160, West Des Moines IA 50266, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal. **BETTENDORF WRESTLING CLUB POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/04/2022 ADDRESS: PO Box 309, Bettendorf IA 52722, United States DESCRIPTION: Board member for local youth wrestling club supporting Bettendorf community athletics. **PV X-PLOSION SOFTBALL/BASEBALL POSITION: General Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2024 ADDRESS: 2991 Katie Ln, Bettendorf IA 52722, United States DESCRIPTION: General Board member. Work with the softball & baseball teams regarding tryouts, practice facilities, representatives from each associated team. This is working with the local community softball /baseball organization to keep kids involved in softball and baseball.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-09
  • S66 Uniform Combined State Law Examination
    2004-09-09

View on SEC IAPD

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